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Lecture A - Standard I Professionalism

CODE OF ETHICS - Lecture A - Standard I Professionalism

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Standard -1
Professionalism
CMT LEVEL - I
Code of Ethics & Standards
Professionalism
Integrity of Capital
Markets
Duties to Clients
Duties to
Employers
Investment
Analysis,
Recommendations,
and Actions
Conflicts of Interest
Code of Professionalism
Knowledge of the
Law
Independence
and Objectivity
Misrepresentation Misconduct
Standard I(A) Knowledge of the Law
•Members and Candidates must understand
and comply with all applicable laws, rules,
and regulations (including the CFA Institute
Code of Ethics and Standards of Professional
Conduct) of any government, regulatory
organization,
Standard I(A) Knowledge of the Law
•Licensing agency, or professional association
governing their professional activities.
•In the event of conflict, Members and Candidates
must comply with the more strict law, rule, or
regulation.
•Members and Candidates must not knowingly
participate or assist in and must dissociate from any
violation of such laws, rules, or regulations.
Standard I(B) - Independence and Objectivity
•Members and Candidates must use reasonable care
and judgment to achieve and maintain
independence and objectivity in their professional
activities.
•Members and Candidates must not offer, solicit, or
accept any gift, benefit, compensation, or
consideration that reasonably could be expected to
compromise their own or another’s independence
and objectivity.

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Lecture A - Standard I Professionalism

  • 2. Code of Ethics & Standards Professionalism Integrity of Capital Markets Duties to Clients Duties to Employers Investment Analysis, Recommendations, and Actions Conflicts of Interest
  • 3. Code of Professionalism Knowledge of the Law Independence and Objectivity Misrepresentation Misconduct
  • 4. Standard I(A) Knowledge of the Law •Members and Candidates must understand and comply with all applicable laws, rules, and regulations (including the CFA Institute Code of Ethics and Standards of Professional Conduct) of any government, regulatory organization,
  • 5. Standard I(A) Knowledge of the Law •Licensing agency, or professional association governing their professional activities. •In the event of conflict, Members and Candidates must comply with the more strict law, rule, or regulation. •Members and Candidates must not knowingly participate or assist in and must dissociate from any violation of such laws, rules, or regulations.
  • 6. Standard I(B) - Independence and Objectivity •Members and Candidates must use reasonable care and judgment to achieve and maintain independence and objectivity in their professional activities. •Members and Candidates must not offer, solicit, or accept any gift, benefit, compensation, or consideration that reasonably could be expected to compromise their own or another’s independence and objectivity.
  • 7. Standard I(C) - Misrepresentation •Members and Candidates must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.
  • 8. Standard I(D) - Misconduct •Members and Candidates must not engage in any professional conduct involving dishonesty, fraud, or deceit or commit any act that reflects adversely on their professional reputation, integrity, or competence.